* Price covers the $3 IAR CE reporting fee.

Course Overview

Dive into the intricacies of the new marketing rule with our specialized course designed for investment advisory representatives. This self-study course offers a deep dive into the latest regulatory changes affecting marketing practices within the financial advisory sector. Through a mix of theoretical foundations and practical applications, participants will explore the key aspects of the rule, including the essential compliance requirements and how they reshape marketing strategies. Whether it's digital marketing, social media, or traditional client engagement methods, this course prepares you to navigate and excel in the evolving landscape of investment advisory regulations.

Difficulty Level: Foundational

IAR CE: 1 credit in Products and Practice (Course # C27332)

CFP CE: 1 hour in General CE (Course # 332385)

Year Released: 2025

Our curriculum is structured to empower financial professionals with the tools and knowledge needed to implement and sustain compliant marketing practices. By focusing on real-world scenarios and case studies, the course highlights the practical implications of the new rule, ensuring that participants not only understand the regulations but also know how to apply them effectively. As the regulatory environment continues to evolve, investment advisers will benefit from our emphasis on adaptation and continuous learning, equipping them with a proactive approach to both current and future marketing challenges. This course is an invaluable resource for those aiming to enhance their marketing efficacy while adhering to the highest standards of compliance and ethics.

Course curriculum

    1. Course Instructions

    2. FINRA Reporting

    3. Overview of the New Marketing Rule

    4. Importance of Staying Updated with Regulatory Changes

    1. Historical Context and the Need for Change

    2. Key Features of the New Marketing Rule

    3. Definitions and Scope

    4. Significant Changes from Previous Regulations

    5. Objectives and Goals of the New Rule

    6. Quiz: Module 1 - Understanding the New Marketing Rule

    1. Detailed Analysis of Compliance Requirements

    2. Documentation and Record-Keeping

    3. Review Processes and Oversight Mechanisms

    4. Quiz: Module 2 - Compliance Requirements

    1. Case Studies on How the Rule Impacts Marketing Strategies

    2. Do's and Don'ts Under the New Rule

    3. Managing Digital Marketing and Social Media

    4. Quiz: Module 3 - Practical Implications for Investment Advisers

    1. Summary of Key Takeaways from the Course

    2. Further Resources and Reading

    3. Course Survey

    1. Final Assessment

About this course

  • $9.95
  • 22 lessons
  • IAR CE 1 Credit in Products and Practice
  • $3 IAR CE reporting fee included

Course Completion Outcomes

Upon completing this course, participants will have achieved the following outcomes:

Developed a Comprehensive Understanding: Participants will have developed a comprehensive understanding of the new marketing rule and its impact on investment adviser marketing practices, preparing them to navigate the regulatory environment confidently.

Enhanced Compliance Posture: Through a detailed exploration of compliance requirements, participants will enhance their compliance posture, reducing the risk of regulatory penalties and reinforcing their commitment to ethical practices.

Refined Marketing Practices: Participants will have the tools and knowledge to refine their marketing practices, ensuring they are not only compliant but also effective in reaching and engaging their target audience.

Strengthened Client Relationships: By adopting compliant and transparent marketing strategies, participants will be better positioned to maintain and strengthen relationships with clients, building trust and credibility in the financial advisory landscape.

Prepared for Future Changes: Equipped with a mindset of continuous learning and adaptation, participants will be prepared to respond proactively to future regulatory changes, ensuring their marketing strategies remain compliant and relevant.


This course is designed to empower investment advisers with the knowledge and skills necessary to navigate the new marketing rule confidently, ensuring their marketing practices are compliant, ethical, and effective in today’s competitive and regulatory environment.

According to NASAA guidelines, to successfully complete the course, you must achieve a score of at least 70% on the final assessment. You have up to three attempts to reach this score. If you do not pass after three attempts, you will need to retake the entire course before you can try the assessment again.

Course Instructions

NASAA does not endorse any particular provider of CE courses. The content of the course and any views expressed are my/our own and do not necessarily reflect the views of NASAA or any of its member jurisdictions.

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